HK
Howard E. Kaplan
USA FINANCIAL SECURITIES LLC
Tenafly, NJ
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CRD#: 2021501
HK
Professional summary
Howard Elliott Kaplan, who also goes by Howard E Kaplan, Howard Elliot Kaplan, Howard Kaplan, is a registered financial advisor currently at USA FINANCIAL SECURITIES LLC located in Tenafly, New Jersey.
Howard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Howard has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 22 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Howard E Kaplan | Howard Elliot Kaplan | Howard Kaplan
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Howard E Kaplan - 12 Louise Ln, Tenafly, NJ 07670. Start date 01/1989. Owner, Sole Proprietor. Life and Health Insurance. Licensed insurance producer who solicits, recommend, and sells life, health, LTC insurance and fixed and indexed annuities. Investment related. 60 hours per month devoted to business. 50 hours per month devoted during securities trading hours. 2) Personal Strategic Design - 12 Louise Ln, Tenafly, NJ 07670. Start date 11/2022. Founder, Owner, Sole Proprietor. Education, training, coaching and consulting. Not Investment related. 60 hours per month devoted to business. 50 hours per month devoted during securities trading
CRS (Client Relationship Summary) - RIA
Click below to view Howard Elliott Kaplan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 23, 2020 - Present
USA FINANCIAL SECURITIES LLC
RIA
BD
CRD#: 103857
Tenafly, NJ
Past
April 19, 2017 - July 16, 2020
BROOKSTONE WEALTH ADVISORS, LLC
RIA
CRD#: 137658
TENAFLY, NJ
Past
February 25, 2016 - March 31, 2017
WEALTH WATCH ADVISORS, INC
RIA
CRD#: 172002
Edgewood, NJ
Past
July 30, 2010 - February 8, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
ENGLEWOOD, NJ
Past
July 30, 2010 - February 8, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
ENGLEWOOD, NJ
Past
March 8, 2007 - September 15, 2010
SUMMIT FAMILY WEALTH COUNSELING INC
RIA
CRD#: 108053
PARSIPPANY, NJ
Past
October 17, 2005 - August 2, 2010
SUMMIT EQUITIES, INC.
RIA
CRD#: 11039
ENGLEWOOD, NJ
Past
October 17, 2005 - September 15, 2010
SUMMIT FINANCIAL RESOURCES INC
RIA
CRD#: 104990
PARSIPPANY, NJ
Past
October 17, 2005 - August 2, 2010
SUMMIT EQUITIES, INC.
BD
CRD#: 11039
ENGLEWOOD, NJ
Past
July 30, 2002 - October 19, 2005
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
ENGLEWOOD, NJ
Past
October 5, 2001 - October 19, 2005
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
Past
January 3, 2001 - October 9, 2001
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
May 29, 1998 - January 3, 2001
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
FAIRFIELD, IA
Past
September 12, 1996 - May 7, 1998
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
January 17, 1996 - September 11, 1996
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
August 15, 1995 - January 1, 1996
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
July 31, 1995 - August 18, 1995
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
March 23, 1994 - December 19, 1994
HAMPSHIRE SECURITIES CORPORATION
BD
CRD#: 19725
NEW YORK, NY
Past
September 16, 1991 - March 19, 1993
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Past
March 22, 1990 - September 27, 1990
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UF
USA FINANCIAL SECURITIES LLC
USA FINANCIAL | USA FINANCIAL SECURITIES LLC | USA FINANCIAL SECURITIES CORPORATION | USA FINANCIAL ASSET MANAGEMENT
CRD#: 103857 / SEC#: 801-68276, 8-52342
RIA
Registered Investment Advisory firm - SEC (8/24/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (9/12/2007 Terminated)California
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (9/28/2007 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Delaware
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)Florida
Registered Investment Advisory firm - SEC (10/11/2007 Terminated)Georgia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Kansas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)Louisiana
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (9/5/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (9/19/2007 Terminated)New Mexico
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)South Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (9/29/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(1/21/2021)
IAR
Maryland(9/25/2020)
IAR
New Jersey(7/23/2020)
IAR
New Mexico(9/29/2022)
IAR
Washington(11/3/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
UF
USA FINANCIAL SECURITIES LLC
USA FINANCIAL | USA FINANCIAL SECURITIES LLC | USA FINANCIAL SECURITIES CORPORATION | USA FINANCIAL ASSET MANAGEMENT
CRD#: 103857 / SEC#: 801-68276, 8-52342
RIA
Registered Investment Advisory firm - SEC (8/24/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (9/12/2007 Terminated)California
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (9/28/2007 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Delaware
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)Florida
Registered Investment Advisory firm - SEC (10/11/2007 Terminated)Georgia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Kansas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)Louisiana
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (9/5/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (9/19/2007 Terminated)New Mexico
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)South Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (9/29/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
6020 East Fulton, Ada, MI 49301
Mailing Address
6020 East Fulton, Ada, MI 49301
Phone number
(888) 407-8198
Established
Delaware since 07/03/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
166
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USA FINANCIAL LLC | OWNER | |
| BACHERT, WILLIAM CLAYTON | CHIEF FINANCIAL OFFICER/FINANCIAL OPERATIONS PRINCIPAL (PRIMARY)/MUNICIPAL PRINCIPAL/DIRECTOR | 4576698 |
| ENDERS, BRENT DAVID | PRESIDENT/DIRECTOR/TRUSTEE OF BRENT D. ENDERS TRUST U/A DTD 06/17/2004 | 2858719 |
| MCCONNELL, JAMES CARROLL JR | CHIEF OPERATIONS OFFICER | 4679140 |
| MERSMAN, MARK ROBERT | CHIEF MARKETING OFFICER | 4702400 |
| THOMASON, DAWN M | CHIEF COMPLIANCE OFFICER | 5275125 |
| WALTERS, MICHAEL DAVID | CHAIRMAN OF THE BOARD/CHIEF EXECUTIVE OFFICER/DIRECTOR/TRUSTEE OF THE MICHAEL D. WALTERS TRUST U/A DTD 3/13/1996 | 2580592 |
Regulatory assets under management
| Total Number of Accounts | 1,750 |
| AUM (Assets Under Management) | $ 301,510,438 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
